SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
Will the SEC Scrap This Vague Texting Rule?
By Melanie WaddellThe agency plans to issue proposals in October on which records that BDs and RIAs need to keep.
July 21, 2026
U.S. Considers Creating FINRA-Like Watchdog to Vet Top AI ModelsThe plan would create an independent regulatory agency for AI that would report to the SEC.
July 20, 2026
PRO
Are You Making These Compliance-Related Annuity Mistakes?Failing to understand a client's needs and not documenting why the product is suitable are just two concerns, advisors say.
July 16, 2026
SEC Releases New E-Delivery RuleRegulation E-Delivery would allow firms to send documents electronically without requiring investors to opt in.
July 14, 2026
PRO
How to Track Life Insurers' 'Payment in Kind' ExposurePIK is no longer about farmers paying off loans with loads of carrots; it's a key health indicator for private credit portfolios.
July 13, 2026
PRO
A New Custody Rule Is on the SEC's Agenda. Here's What to Know.The agency plans to issue a proposed rule that would address questions raised by advisors about holding crypto.
July 10, 2026
Advisors, Take Note: SEC Rule Revamps Are on the WayThe agency's just-released Reg Flex agenda for 2026 includes several hot-button issues for advisors.
July 08, 2026
Call for FINRA to Update Document-Request Rules Draws ScrutinyThe Rule 8210-related changes, part of a larger report, would make it easier for firms to block enforcement, PIABA's president argues.